OPTO INVESTMENT MANAGEMENT, LLC

CRD 316847File 801-123757

APPROVED

Custody

Filing as of Jul 31, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$928.6M

Above cohort median (national)

Discretionary AUM

$733.6M

Non-discretionary $195.0M

Clients

34 accounts

Employees

Above cohort median in NY

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: NYRO
Registration date: Aug 17, 2022
Principal office: 31 W 27TH STREET, SUITE 605, NEW YORK, NY, 10001
Phone: 212-658-0382
Website: https://www.optoinvest.com/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $928.6M
Discretionary AUM: $733.6M
Non-discretionary AUM: $195.0M
Discretionary accounts: 26
Non-discretionary accounts: 8
Total accounts: 34
AUM per client: $27.3M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Pooled investment vehicles	34	$928.6M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Performance-based fees
A percentage of assets under your management

Advisory activities

Selection of other advisers
Portfolio management for pooled investment vehicles

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: Yes
Firm Custody Clients: Yes
Firm Custody Securities: Yes
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: Yes

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Aug 1, 2026	Clients	31	34	increased by3
Aug 1, 2026	AUM	$565,386,370	$928,573,008	increased by$363,186,638
Aug 1, 2026	Accounts	31	34	increased by3
Apr 1, 2026	Employees	15	14	decreased by1
Apr 1, 2026	Clients	22	31	increased by9
Apr 1, 2026	AUM	$370,980,745	$565,386,370	increased by$194,405,625
Apr 1, 2026	Accounts	22	31	increased by9
Dec 1, 2025 vs May 1, 2025	Clients	18	22	increased by4
Dec 1, 2025 vs May 1, 2025	AUM	$233,590,615	$370,980,745	increased by$137,390,130
Dec 1, 2025 vs May 1, 2025	Accounts	18	22	increased by4
May 1, 2025 vs Oct 1, 2022	Employees	6	15	increased by9
May 1, 2025 vs Oct 1, 2022	Clients	7	18	increased by11
May 1, 2025 vs Oct 1, 2022	AUM	$77,001,000	$233,590,615	increased by$156,589,615
May 1, 2025 vs Oct 1, 2022	Accounts	7	18	increased by11
Sep 1, 2022	Registration	APPROVED-120	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “OPTO INVESTMENT” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OPTO INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.